Fassino Anthony D.'s Form 4 filing
Caterpillar Inc (CAT) · filed Dec 2, 2024
- Accession no.
- 0001104659-24-124678
- Filed
- Dec 2, 2024
- Trade date
- Nov 29, 2024
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.57M. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Fassino Anthony D.CIK 0001839757 | Officer (Group President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 29, 2024 | Common Stock | MOption exerciseAcquired | +9,133 | $127.60 | +$1,165,370.8 | 42,698 | Direct | |
| Nov 29, 2024 | Common Stock | FTax withholdingDisposed | −2,854 | $408.22 | −$1,165,059.88 | 39,844 | Direct | |
| Nov 29, 2024 | Common Stock | SSaleDisposed | −6,279 | $408.59 | −$2,565,536.61 | 33,565 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 29, 2024 | Common Stock | MOption exerciseDisposed | −9,133 | $127.60 | −$1,165,370.8 | 0 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.